| S.No. |
ENTITY |
PERSON |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 21 |
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,57,164
20-MAR-2012
|
|
| 22 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.78,430
15-FEB-2012
|
|
| 23 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.9,000
27-MAR-2012
|
|
| 24 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT PAY BROKERAGE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.31,542
29-JUN-2012
|
|
| 25 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.86,400
16-APR-2009
|
|
| 26 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.70,434
13-APR-2009
|
|
| 27 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.13,080
13-JUL-2012
|
|
| 28 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.6,54,754
30-JAN-2014
|
APPEAL DISMISSED AND IMPUGNED ARBITRATION AWARD CONFIRMED. PARTIES SHALL BE BEAR THEIR OWN COSTS
|
| 29 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.71,000
18-FEB-2014
|
|
| 30 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.61,983
07-MAR-2014
|
|
| 31 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,474
04-SEP-2020
|
|
| 32 |
|
|
ANGEL BROKING PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.94,743
24-NOV-2017
|
|
| 33 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT PAY DIVIDEND
|
CLAIM ADMITTED
AWARD AMOUNT: RS.93,825
09-DEC-2016
|
BSE VIDE ITS AWARD DATED 11/04/2017 CONFIRMEND ITS AWARD DATED 09/12/2016
|
| 34 |
|
|
ANUGRAH STOCK & BROKING PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
DID NOT RESOLVE INVESTOR'S PROBLEM
|
CLAIM ADMITTED
DIRECTED TO TRANSFER SHARES
AWARD AMOUNT: RS.80,766
26-MAY-2011
|
|
| 35 |
|
|
APOLLO SINDOORI CAPITAL INVESTMENTS LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,80,725
19-NOV-2009
|
|
| 36 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
21-DEC-2010
|
|
| 37 |
|
|
ARCADIA SHARE & STOCK BROKERS PVT.LTD.
|
|
|
DID NOT DELIVER SHARES
|
CLAIM ADMITTED
14-JUN-2019
|
|
| 38 |
|
|
ARIHANT CAPITAL MARKETS LTD.
|
|
|
DID NOT PAY SALE PROCEEDS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.69,571
26-NOV-2007
|
|
| 39 |
|
|
ASHIKA STOCK BROKING LTD.
|
|
|
DID NOT PAY LEDGER BALANCE
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,18,626
08-FEB-2010
|
|
| 40 |
|
|
BALANCE EQUITY BROKING (INDIA) PVT.LTD.
|
|
|
INDULGED IN EXECUTION OF UNAUTHORISED TRANSACTIONS
|
CLAIM ADMITTED
AWARD AMOUNT: RS.1,15,465
16-MAR-2009
|
|
| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
| |
|
|
| Page 2 of 82 |
